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FTC Announces Changes to Ban Noncompete Provisions
9 May 2024, 7:29 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Fines 5 RIAs Under New Marketing Rule
18 Apr 2024, 7:37 am by Charlie Jarrett
  Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Investment Advisers’ May Have New AML Obligations Under FinCEN Proposed Rule
29 Feb 2024, 7:00 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
DOL Proposes Amendments to PTE 2020-02
16 Jan 2024, 7:00 am by Patricia Klusmeyer
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
DOL Proposes Amendments to Definition of Investment Advice Fiduciary
11 Jan 2024, 7:00 am by Patricia Klusmeyer
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
[Eugene Volokh] New Univ. of Texas Law Class on "Understanding Conservative Legal Thought"
9 Jan 2024, 12:05 pm by Eugene Volokh
Alisdair MacIntyre, After Virtue (3d ed. 2007). [read post]
The Volokh Conspiracy - http://www.volokh.com/
SEC Announces Enforcement Results for 2023
7 Dec 2023, 7:11 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Announces Examination Priorities for 2024
26 Oct 2023, 7:00 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC FINES 9 RIAS FOR MARKETING RULE VIOLATIONS
19 Sep 2023, 7:00 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Provides Details on RIA Examination Program and Process
13 Sep 2023, 8:22 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Fines Adviser Under New Marketing Rule
5 Sep 2023, 7:00 am by Katherine Oberlies
   Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
MacIntyre on the moral philosophy of the 20th-century...
4 Sep 2023, 5:52 am by Brian Leiter
...and a synoptic account of the evolution of his own views. [read post]
Leiter Reports: A Group Blog - http://leiterreports.typepad.com/blog/
SEC Proposes Amendments to the “Internet Adviser” Basis for SEC Registration
3 Aug 2023, 7:00 am by Steve Parker
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
SEC Enforcement Case Highlights Pitfalls Of Private Fund Advisory Fees
13 Jul 2023, 7:00 am by Katherine Oberlies
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
DOL Drops Appeal of Court Ruling Partially Vacating its PTE 2020-02 Guidance
22 Jun 2023, 7:00 am by Patricia Klusmeyer
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
DOL PTE 2020-02 Annual Retrospective Review Deadline Approaching
25 May 2023, 8:00 am by Patricia Klusmeyer
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
"Exploring Law Through a Christian Lens" at the Legal Vocation Fellowship
19 May 2023, 5:50 am by Rick Garnett
We covered a wide range of readings, including selections from Augustine, Aquinas, Luther, Calvin, Kuyper, and MacIntyre, as well as some biblical texts. [read post]
Mirror of Justice - https://mirrorofjustice.blogs.com/
SEC Announces What to Expect for Newly Registered Investment Advisers
6 Apr 2023, 12:00 pm by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
What to Expect: SEC Announces Examination Priorities for 2023
7 Mar 2023, 7:35 am by Charlie Jarrett
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
The Lawfare Podcast: Counterintelligence Today with Mirriam-Grace MacIntyre and Alan Kohler
3 Mar 2023, 2:01 am by Jen Patja Howell
His guests were Mirriam-Grace MacIntyre, Executive Director of the National Counterintelligence and Security Center (NCSC), and Alan Kohler, Assistant Director of the Counterintelligence Division at the FBI. [read post]
Lawfare - http://www.lawfareblog.com/